Three tools. One ironclad solution. All the support (and peace of mind) your firm needs, when and where you need it. When it’s your turn to be audited, you’ll be ready.
Cybersecurity, crypto, ESG, new marketing rules — there’s always something novel on the horizon. Learn what’s expected from firms today and how to navigate the current regulatory landscape with resources made to help.
Meet the partners already improving client service while scaling their businesses.
ABL Compliance offers services to advisory firms to support compliance with the Investment Advisers Act of 1940. ABL Compliance strives to provide a customized compliance plan for each advisory firm that reflects the firm’s unique business and the ever-changing regulatory environment. Services range from day-to-day compliance support to one-time projects.
About Integration Partner
Beacon Compliance Consulting was founded in 2009 by Kyle Bubeck. The firm provides Chief Compliance Officer services to registered investment advisors, stand-alone mutual funds, and mutual fund series trusts. In addition, Beacon provides compliance consulting services, including initial advisor registration and set-up, document creation, mock auditing, and other compliance consulting services. Beacon also performs financial bookkeeping services for several advisory firms.
About Integration Partner
Bovill is a regulatory consultancy with offices in the United States, Singapore, Hong Kong and the United Kingdom, and more than 80 team members. Since 1999, we’ve been helping clients do the right thing in an ever changing and complex world. Our local market technical expertise coupled with our global presence means we can support clients looking for country-specific services or seeking to extend product offerings outside national borders. Our dedicated U.S. team includes regulatory specialists with experience at the SEC, CFTC and NFA, as well as prominent financial services firms.
About Integration Partner
Cascade Investment Compliance & Verification helps RIAs and other investment managers and asset owners achieve and maintain compliance with the Global Investment Performance Standards (GIPS®). Our other services include performance reviews, investment compliance for asset owners, and performance measurement consulting. Our team has decades of experience, and we are passionate about providing exceptional client service, promoting industry best practices, and offering expert guidance and education to our clients.
About Integration Partner
CORE-CCO, LLC partners with leading and emerging private fund firms in Texas. We strive to provide quality outsourced compliance resources and expertise, designed to be an integral part of our clients’ daily operations, resulting in a stronger, more focused and competitive private fund firm. We work with a select group of private fund firms to provide a comprehensive solution that is proactive and tailored to each firm’s unique needs.
About Integration Partner
Core Compliance specializes in compliance and risk management for the financial industry. When building and enhancing your business, it is essential to have dedicated resources to support and ensure your success. Core Compliance understands the complexities of the securities business and offers solutions based on the unique culture, identity and needs of your firm.
DKA Consulting Group LLC provides regulatory compliance consulting services to registered investment advisers and broker-dealers. Services offered include registrations, compliance testing, policies & procedures, regulatory exam support, and general consulting. Our team members have 20 or more years of industry experience including roles as chief compliance officers, compliance program managers, and registration supervisors. Services offered are customized to ensure that compliance programs are reasonably designed to ensure compliance with all applicable regulatory requirements.
About Integration Partner
A virtual firm since inception, Essential Edge has grown into one of the leading temporary staffing firms in the financial services industry. Essential Edge delivers a wide range of outsourced compliance services for broker-dealers, RIAs, banks and insurance companies. Essential Edge provides core compliance services including, but not limited to branch office inspections, email and advertising review, and sales supervision. We are extraordinarily responsive every day of the year. Our team of consultants, with an average of 20 years of compliance and supervisory experience, stand ready to seamlessly supplement in-house efforts to satisfy the demands of regulators and financial advisors alike.
Essential Edge's growth since inception has been tremendous. Its recent revenue explosion in the past three years is partly attributable to the rising costs of employees and the shift to remote work. Unlike the past, firms are paying a tremendous cost to hire, fire and train. Essential Edge fills the staffing gap for a wide range of firms. Due to our fee model and expert staff, many of our short-term engagements become permanent.
The Founder of Essential Edge, Sander J. Ressler, worked for a large consulting firm prior to starting the company in 2011. He believes that an hourly rate model encourages higher fees and disincentivizes consulting firms to deliver a quality product on time. In addition, the overhead of a large consulting firm is passed directly onto clients, further inflating costs unnecessarily. Essential Edge turns this model on its head. As a virtual firm with a flat fee model, Essential Edge passes its dual cost savings on to clients, a measure that is cost effective in the short and long term. All flat fee engagements are negotiated up-front, and clients never receive an invoice greater than the agreed amount, unless the scope of the engagement was agreed to by both parties in writing previously.
Essential Edge has become a market leader because of its services and because we are unparalleled in our flexibility and exceptional client service. We listen to our clients and provide them with the expertise they need without the red tape and bureaucracy of larger consulting firms. Each client gets the help they need without the burden of having to fund the education of consultants who have never worked in the industry.
About Integration Partner
Integrated Compliance Advisors offers custom-tailored services to SEC-registered advisory firms to ensure compliance with the Investment Advisers Act of 1940. Our clients are not just a number; we guarantee the personal feel of a boutique environment. We integrate with our clients' compliance departments and aim to craft personalized compliance solutions for each firm, considering their unique business model and the regulatory landscape. From ongoing compliance guidance and hands-on regulatory exam support to specialized projects and more, we provide comprehensive solutions to meet our clients' specific and ever-changing needs.
Our tailored approach emphasizes proactive education on compliance matters and provides resources to streamline policies, procedures, and processes. Our recommendations are backed by our extensive industry experience and firsthand knowledge gained from working in numerous roles within an RIA office.
About Our Integration Partner
Key Bridge Compliance provides outsourced compliance services to Registered Investment Advisers (RIAs). KBC partners with RIAs who want to focus their time and resources on growing their business rather than the ever-changing regulatory landscape.
Originally founded in 1984, MGL Consulting, LLC (MGL) is nationally recognized in the financial industry as a leading provider of regulatory compliance consulting services to broker-dealers, investment advisers, and commodities firms. Our team of experienced professionals have more than 400 years of collective experience encompassing compliance, regulatory, accounting, and legal disciplines. Our firm’s broad industry experience and depth of knowledge provide welcome, cost-effective best in class solutions to many of the compliance and staffing challenges facing firms in today’s changing regulatory and business environment.
My RIA Lawyer helps financial advisers and firms navigate the legal complexities of the financial services world. Combining compliance and legal under one umbrella, My RIA Lawyer provides a range of “keep me out of trouble” and “get me out of trouble” services. Whether you are looking for a complete outsourced compliance solution with a My RIA Lawyer Chief Compliance Officer, attorneys to defend you in a state or SEC Enforcement matter, or something in between, My RIA Lawyer is your full service compliance and legal solution.
NexTier provides outsourced accounting, compliance, and human resource solutions to investment advisory firms. From strategic planning to innovative solutions, our focus is building an efficient and results-driven relationship.
AltExchange and Orion have partnered to provide advisors and their clients with a fully-automated, seamless alternative investment management experience. Through AltExchange's connections and machine learning technology, advisors can automate alternative investment management and unlock the ability to aggregate, report, and bill on alts, while clients can access real-time performance reporting for a holistic view of their wealth.
Outsourced Compliance Group provides full-service compliance consulting to registered investment advisers. Our clients generally service private funds, registered funds, high net worth individuals, retail investors, and commodity pools. OCG is boutique by design. We’re dedicated to the client experience, thoroughly learning your business, becoming part of your team, and providing consistent communication.
Our core offering is a comprehensive outsourced compliance program. We have standing calls with our clients on a frequent basis and our core service includes unlimited consulting to ensure we are kept up to date on your business changes and can adapt your compliance program as necessary.
Parker MacIntyre is a law firm that represents investment advisers and financial professionals around the country. Our experienced securities attorneys advise start-up and existing investment advisers, including those who must register with the Securities and Exchange Commission (SEC) or with a state regulatory agency. Industry rules often shift, necessitating a comprehensive and up-to-date understanding of federal and state laws and regulations. Our firm can assist with everything from choosing a business structure to developing governing documents, to constructing a policies and procedures program compliant with securities and investment adviser laws.
About Integration Partner
PINE Advisor Solutions provides institutional-quality outsourced Chief Financial Officer (CFO), regulatory compliance, fund/advisor launch, and operations support services to private funds, mutual funds, exempt and registered investment advisers. PINE’s mission is to serve as an invaluable extension of your firm by providing high-quality outsourced solutions. PINE will serve as the compliance, financial and operational experts allowing you to focus on managing your portfolios and growing your business.
About Our Partner
Helping Organizations Bridge The Compliance Knowledge Gap.
Our team has over 100 years of combined experience in investment management regulation and compliance. Our professionals have served as SEC regulators, chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.
True West is a regulatory compliance consulting firm focused on SEC registered investment advisors managing $100 million to $3 billion of regulatory assets under management. True West offers a proactive, educational approach to compliance consulting as well as resources to support your operational execution. Our decisions and recommendations are based not only on our experience but are guided by the principles set forth in the Code of the West. Courage, optimism and plain hard work —these are the simple, basic values that lie at the heart of the western way.
About Integration Partner
Windermere Insurance Group is a full-service insurance brokerage headquartered in Charlotte, NC, with a dedicated focus on serving the Financial Institution market, including RIAs, Fund Managers, Broker Dealers, Trust Companies, and Family Offices. Specialized in professional and management liability coverages (E&O, D&O, Cyber, etc.), as well as standard commercial coverages (General Liability, Workers’ Comp, etc.), and Employee Benefits.
Advances in technology have changed compliance, making it more manageable and less stressful. Compliance software packages and a host of automated alerts and trackers are making it easier for firms of all sizes to take responsibility for their own compliance needs.
In this whitepaper, we’ll show you how leveraging a client-centric regtech solution can help you simplify the execution of your compliance programs. You’ll learn how you can:
The Orion Advantage Stack is the newest way for you to seamlessly connect all the tools you need to propel productivity, delight your clients, and grow your firm.
With the Advantage Stack, you can prepare and protect your firm for ever-changing compliance regulations with advanced data aggregation and take advantage of pre- and post-trade compliance reporting so you’re always in the know.
¹Source: The Technology That Independent Financial Advisors Actually Use And Like, The Kitces Report AdvisorTech Survey, 2023.
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Compliance Code: 0 1 4 4, Orion Advisor Solutions, January 19, 2024
